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Compliance Coordinator

Employer
BLACKFINCH GROUP LIMITED
Location
UK
Salary
Competitive
Closing date
10 Jul 2022

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Sector
Accountancy
Contract Type
Permanent
Hours
Full Time
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Blackfinch Group is an award-winning investment specialist with a heritage dating back over 25 years. A trusted provider, we work in partnership with advisers. Our businesses cover tax-efficient solutions, early stage investing, managed portfolio services, property financing and renewable energy. As an environmental, social and governance (ESG) investor, we work for a positive impact. We're proud to be entrusted with over £600 million in assets under management and administration.

Purpose of Role

To assist the Compliance Officer to maintain effective regulatory systems and controls and ensure compliance with the FCA Handbook and other applicable legal requirements necessary to effectively undertake this role. To work with the relevant business unit to find solutions and to work with the Compliance Officer to create an environment where compliance with regulatory rules and guidance is regarded as part of the norm and risk mitigators are understood and applied.

Key Accountabilities
  • Reporting to and supporting the Compliance Officer in fulfilling the FCA Senior Management Functions (SMF16 & SMF17).
  • Maintain the business' regulatory training programme and induction training ensuring updated in line with any regulatory and legislation changes.
  • Conduct compliance monitoring activity as per the company annual Compliance Monitoring plan.
  • Provide assistance with the updating and maintenance of compliance policies.
  • Assist the Compliance Officer with anti-money laundering and financial crime issues with outside parties, e.g. administrators, police, regulatory and industry bodies.
  • Under the supervision of the Compliance Officer, prepare reports to relevant Boards and Committees.
  • Check promotional material produced by the business, providing feedback on any changes required to ensure agreement with FCA rules.
  • Assist in day-to-day management of agreed projects.
  • Attend relevant industry briefings, training, seminars and conferences as appropriate.
  • Undertake any other duties commensurate with this level of position.

Essential Experience
  • Experience working in compliance and money laundering in the financial services industry, preferably, although not essential, in investment management.
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